Firms have many goals in tracking non-cash compensation. Some of the first objectives that come to mind are compliance initiatives to ensure that internal associates do not give and receive gifts that surpass the firm's Written Supervisory Procedures and regulatory mandates. In addition to compliance needs, firms may also want to set and track budget limitations.

For example, a firm has a $100 limit on all gifts given to individuals outside of the firm. An internal rep may not be violating the firm's policy by giving $95 gifts to 50 people at the same firm, but he may be exceeding his budget limits.

PowerComply tracks both compliance and budget limits. The system allows you to set various limits within your broker/dealer by:

	Business unit, region, department, etc.
	Job title or code, such as supervisor versus non-supervisor, financial advisor versus sales assistant, etc.
	By individual, such as for specific executives or in individual cases

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